SEC Form 4 · accession 0001179110-18-008343
National Bank Holdings Corp · NBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard U Newfield Jr.
Officer — Chief Risk Mngmt Officer
Period of report
Jun 7, 2018
Accepted (ET)
Jun 11, 2018 · 5:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001475841
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 7, 2018 | M | 75,000 | $20.00 | A | 177,809 | D | |
| Common StockF1 | Jun 7, 2018 | S | 75,000 | $40.1217 | D | 102,809 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $20.00 | Jun 7, 2018 | M | 75,000 | D | — | Jan 25, 2021 | Common Stock | 75,000 | 100,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.48, inclusive. The reporting person undertakes to provide to NBHC, any security holder of NBHC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F2Time-vested stock option award. Stock options vested in equal installments on October 21, 2011 and October 21, 2012.